Human Resources Information
Action Request / Financial Review Form (download
Unsigned Offer Letter
Green Sheet (download
Green Sheet Instructions (download
Time Sheet (download
Overtime Request Form (download
for Time Off Form
Time Balances (download Excel file)
Termination/ Vacation Pay Form (download
Volunteer Packet (download
Voluntary Self Identification
Form (download Word
Request to Recruit Packet
Full Time Staff
1. Hiring Officer (Requestor) informs Financial Coordinator of intent to
hire and emails the following information:
- Short description of position
Form (Position Inventory Questionnaire Form) (for new positions)
of resignation (for replacement positions)
- School of Medicine Human Resources
(SOM HR) Action
Request / Financial Review Form or requested starting salary and start
2. It takes approximately 3-5 days for a new position to be posted on Penn’s
Human Resources Website. At that time, a user ID, password and instructions
to access online systems will be emailed to the Hiring Officer.
3. Once the position has been posted, the Hiring Officer may begin interviewing
candidates from the pool of candidates who applied online. The Hiring Officer
is required to get each interviewee to sign the PENN application and a background
check form. This is now compulsory.
4. The University requires a Hiring Officer to wait a minimum of 5 days before
deciding upon a final candidate. Once the hiring officer has chosen a preferred
candidate, but before making an official offer, he/she needs to fill out the
Affirmative Action packet:
5. Recruitment and Staffing will send final approval by email. A potential
employee is not permitted to begin work prior to this final approval.
Hiring Officers should please note the following liabilities:
- ANY SCHOOL/CENTER/FACULTY MEMBER THAT MAKES AN UNAUTHORIZED OFFER
OF EMPLOYMENT OR A SIGNIFICANT CHANGE IN CONDITIONS OF EMPLOYMENT OF AN EMPLOYEE
ASSUMES RESPONSIBILITY FOR ANY PENALTIES, LIABILITIES AND EXPENSES WHICH
MAY ARISE FROM THAT ACTION.
- When preparing offer letters for new hires, the pay amount must
be a weekly or monthly amount. If you were to enter a yearly salary, the
University is promising the employee that yearly salary. The University then
becomes vulnerable to possible lawsuits if an employee is suddenly terminated
for lack of performance or any other reason.
- To ensure adherence to relevant University policies, salary practices
and federal law, after the search for a new employee has been completed,
but before an offer is made, the Hiring Officer (faculty member wishing to
hire a new employee) is required to consult with Recruitment and Staffing.
Part-Time Staff Employees
The same procedure for full time employees is followed when hiring a permanent
If a person is expected to work under 1000 hours/year (approximately 17-20
hours/week), it is not necessary to post the position with HR. It is possible
to hire a temporary worker at an hourly wage, without benefits, simply by writing
an offer letter. Sample Offer Letter for Temporary Workers
When a PI wants to request a work-study student, they need to request it
at the University of Pennsylvania's
Student Office Site. They will be asked for their name, description of
the job, and hourly rate. The Work-Study Coordinator (Financial Coordinator)
will approve this job before it is posted for students to review. An advantage
to hiring a work-study student is that the PI only pays 40% of the hourly rate,
and the remaining 60% is paid by the work-study office. The work-study studuent
must submit their Job Appointment Form to the Work-Study Office before being
Research Associates must be reappointed every year.
Research Associate (RA)
A Research Associate is a person who has completed their postdoctoral
training. This is an Academic Support Staff position. Research Associates receive
full employee benefits but are not eligible for the tax-deferred retirement plan.
Full-time service in this position may not exceed three years, except with the
approval of the Provost. There are no published salaries for this position.
To appoint a person to an RA position, a Recruitment Control Number (RCN) must
be assigned to the position. Once the RCN is received from the finance office
the dossier can be forwarded to the Office of Faculty Affairs. Included in the
Research Assistant Professor
This position is considered a faculty title and should be treated as
such. This is three year appointment and needs to be voted on every
three years to renew. All transactions regarding Faculty appointments,
promotions and recruitment should be handled in conjunction with the Office of
Faculty Affairs. Please refer to the Faculty
Visiting Assistant Professor
This position is considered a faculty title and should be treated as
such. This is a three year appointment and needs to be voted on every three
years to renew. All transactions regarding Faculty appointments, promotions
and recruitment should be handled in conjunction with the Office of Faculty Affairs. Please
refer to the Faculty
Affairs Guidelines for information regarding this
BGS Student Appointments
A graduate student during his first two years at the University does
6 lab rotations during this time the student and a faculty member decide which
faculty will mentor the student once the lab rotation is complete. In late
spring/early summer of each year BGS informs the Business Administrator
by E-mail, all of the students that the department will be mentoring and their
financial responsibility (tuition, health, and stipend). The NIH will pay
a specified stipend amount and the remainder should be supplemented by
mentor. Ask the PI to sign the letter and inform us where the supplement
will come from. An appointment letter is not necessary. For students on
a training grant, the Faculty Coordinator will process the NRSA Appointment
Forms when a new appointment or a reappointment is due. If the PI of
training grant has an administrative assistant, that person will process
the required forms.
All visiting scholars are required to have
$1,300/month and proof
of health insurance. Visiting scholars may only stay in this job for one
year. The job class code should be entered as 246040-visiting scholar, with
the object code of
5020 and ERN code RMO. While they may be eligible tax exempt status,
need to go to the tax office to fill out an 8233 form. Once the tax
the original signed copy, they will change the ERN code to NAO so that
no taxes are taken from the employee’s paycheck.
Visiting Scholars need to complete the Visiting
Scholar Agreement Form.
All visiting scientists are required to fill out and sign a Visiting
All positions are required to fill out ALL of the new hire paperwork, including
tax forms and the Patent and Tangible Research Property form. They will also
need an appointment letter from the faculty member stating the terms of the
appointment. The minimum record in payroll must be met according to School
of Medicine policy.
All foreign nationals working at the University of Pennsylvania must have
a valid visa, which includes but is not limited to a J-1, H-1B or F-1.
When sponsoring a visa for a newly hired international student or scholar,
verify that all required documentation is submitted timely and accurately
to OIP. If any item is missing from the required documentation, the package
be returned at point of contact or via interoffice mail (thus causing
J-1 Extension Request Form
J-1 academic training is designed to allow J-1 students the opportunity to
apply knowledge gained in the classroom to a practical work experience off
campus. Academic training is available to J-1 students during the course of
study and after completion of studies. As long as they stay within the stipulated
time limits, academic training allows part-time employment when classes are
in session, and full-time employment during vacation periods. There are a few
circumstances in which a J-1 student may interrupt their studies to work full-time
(i.e. writing a thesis, or J-1 students in non degree programs). Academic training
cannot exceed 18 months in length (36 months for post-doctoral training) or "the
period of full course of study" whichever is shorter.
- Available to visiting scholars, postdoctoral fellows, visiting
and temporary faculty and research staff
- Cannot be used for a tenure-track or tenured faculty position or
for a "staff" position
- Must be issued an DS-2019 form (Certificate of Eligibility) by
OIP or outside sponsoring organization, e.g. Council for the International
Exchange of Scholars (CIES)
- Must obtain J-1 visa stamp at U.S. consulate overseas or have
a BCIS-approved change of status to J-1
- J-1 "research scholar" and "professor" category
is limited to three years
- J-1 "short-term scholar" is limited to a six month stay
- May apply for a change of status. Note some exchange visitors are
subject to the two year home country residence requirement and may not change
to another visa status without first complying with the requirement or obtaining
a waiver of the requirement
- If scholar has held J status (including J student, researcher,
professor, specialists or dependent) in the U.S. for more than six months
during the preceding 12 months, they are not eligible for a J-1 research
scholar or professor status
- May be reimbursed for expenses
- May be given honorarium, stipend or salary, but only by the J-1
sponsor. Special permission must be obtained to accept payment for other
- Dependents of J-1 exchange visitors, those holding J-2 status,
may work, but only with the prior permission of the BCIS
J-1 visas can expire even if the DS-2019 is still in effect. If the J-1
expires, they can still work but must initiate the process to renew their visa.
They need to take a letter of appointment and the J-1 Extension Request Form
to OIP at least 2 months in advance to get an extended DS-2019. The DS-2019
is really what PENN is interested in because of the sponsorship. If that expires,
they cannot work.
J-2 is a visa held by a spouse of a J1 visa holder. J-2’s can work anywhere
in the US as long as they have an employment authorization card. It is up
to the individual to go to INS to renew their employment authorization cards
provide a copy to the administrative office. If they do not have an unexpired
authorization card, they need to stop work immediately. They may apply for
a J-1 visa which will provide better tax exemptions.
How to apply:
To apply for a DS-2019, a Microbiology Office Administrator will fill out
Department Request Form for a J-1 Exchange Visitor and forward
to the appointee for additional information (on page 3 of application).
Once the appointee
completes the form, it is signed by the Chairman and sent to OIP along
with the original appointment letter.
When the DS-2019 is ready for pickup,
the administrative person who prepared the forms receives an email from
OIP to pickup the DS-2019. Effective September 1, 2004 a SEVIS fee of $100.00
must be paid for new J-1 scholars entering the U.S. for the first time
using J-1 documents (forms DS-2019). OIP will confirm that the scholar
must pay the fee by attaching a note to the DS-2019 stating the fee must
be paid. The SEVIS fee must be paid before the scholar enters the U.S.
Please follow the instruction sheet attached to the DS-2019. Once the fee
is paid staple the confirmation receipt of payment that you will print
out at the end of the on-line payment process (using a Pro-Card) to the
scholars DS-2019 and send to scholar. If you will have the scholar pay
the SEVIS fee directly staple the attached instruction sheet to the DS-2019
and send to the scholar for further processing with their embassy/consulate.
Note: It currently takes 3-4 months to get a J-1 Visas (DS-2019)
J-1 Extension Request Form
H-1B Temporary Worker Status
- Must be an employee of the University of Pennsylvania (The H-1B
- Must petition BCIS for approval
- Must be paid "prevailing wage," per a Department of
- Must obtain H-1B visa overseas or have an BCIS-approved change
of status to H-1B
- H-1B status is initially granted for a maximum period of three
years and can be extended to a total of six years (regardless of the number
- May apply for a change of status
- May receive reimbursements, honoraria, stipends, salary from Penn
- Dependents of H-1B temporary workers, those holding H-4 status,
may not work
Persons already in H-1 status working for another institution will be
able to begin work as soon as OIP files an H-1 petition with the Immigration
and Naturalization Service. This means that the University will no longer have
to wait four to six months for INS approval before someone already in H-1 status
can begin work at the University. The interval between the time OIP is notified
that someone already in H-1 status is coming to Penn and the time that person
can start work at Penn will be (depending on several factors) between two and
six weeks. (It will, of course, also be possible for a Penn H-1 employee to
leave Penn for another H-1 employer just as quickly.) This provision applies
retroactively to include all currently pending H-1 change of employer petitions.
There are fees associated with applying for an H-1B visa:
- Application fee, paid by the applicant - $190.00
- Homeland Security fee, paid by the PI, for initial H-1 applications, use
object code 5339 on C368 form - $500.00
- OIP processing fee, paid by the department, using object cod 5340 - $1,100.00.
The 26 digit budget code should be typed in on the OIP processing fee page
and signed off by the Business Administrator
It currently takes 4-6 months for an H-1 Visa to be processed. For an additional
fee of $1,000 OIP will receive a response from BCIS within 15 days regarding
the application. This process is called Premium Processing and may be paid
by either the employee or PI. ***This process does not guarantee an approval
in 15 days, only a response.)
How to apply:
To obtain an H-1B Visa, the application packet must be completed
and signed by the Chair. Once the application is completed and the application
fee ($185.00) and the other attachments have been received, the application
will be forwarded by the Administrative Office to OIP. The administrator
processing the application will receive an email from OIP when the H-1B
application has been processed. Please see attached application.
H-1B Extension Request
Scholars in F-1 Practical Training
- F-1 practical training recommended by the student's college or university
for a position related to the student's field of study. Approval from BCIS
in form of an Employment Authorization Document.
- May be authorized for summer employment, upon completion of study
or occasionally during a course of study.
- Total period allowable is 12 months; nonrenewable.
- Must be approved by BCIS, except in the case of curricular practical
training which is authorized by the college or university.
- Individuals who have F-1 Student visas are exempt from income and
Medicare taxes for five years. It does not matter if they have been at Penn
for 6 months, if they have been in the States for at least five years they
must pay income and Medicare taxes.
Foreign nationals with B-1 visas are not eligible for SS # and should
fill out the appropriate W-7 form. Most likely, corporations may need to
fill out the W-9 form.
Changes in VISA status
If visa status changes from J-1 to H-1B, the foreign national must complete
the H-1B application. The Administrative Office will make a file copy
and send the original to OIP. The foreign national should be aware that the
change in visa status may also affect his/her tax exemption status. They should
take all documentation to the tax office for advice; they may be required
to pay social security tax and possibly other taxes with the new visa status.
Please refer to the Office of International
Programs for information about
Social Security Cards
If the new hire does not have a social security number, the Administrative
Office will call Records at x8-6176 for a temporary social security number.
The temporary number can be used to enter the employee into UMIS payroll
system, as well as all university documentation including
the W-4 and direct deposit form. Once the employee receives their permanent
social security number from the Social Security Office, (3901 Market Street,
2nd floor), they need to bring it to the Administrative Office. The Administrative
Office will make a copy of the card and fax it to Mary in Records at 3-3898.
Every Tuesday, Records will update the system with the permanent social security
Due to the complexity of tax laws, the Administrative Office is not permitted
to give tax advice, even if questioned. Any questions should be referred to
the Tax Office. Please check the Tax
Office's Website for drop-in hours and
Processing New Hire
All new hires need to fill out the regular paperwork packet which includes
a payroll information sheet,
The packet then goes to SOM Business Office with a green
which indicates what documentation is
New hire’s documentation needs to be in Records by the date (always
a Monday) on the monthly
payroll schedule so that the minimum record is met by the same
Friday (the date they run monthly payroll). If this happens, the employee
will be paid for that month;
the employee will need to wait an additional month for payment.
The documents required for a foreign national are as follows:
- Foreign National Information Form
- Form I-9
- Form W-4
- Copy of Social Security Card or receipt for application of SS card
- Copy of I-94 card and picture visa (except Canada)
- Copy of unexpired foreign passport
- Copy of current immigration document (I-20, DS-2019, I-797, Employment
- Curriculum Vitae
Due to the complexity of tax laws, the Administrative Office is not permitted
to give tax advice, even if questioned. Any questions should be referred
immediately to the Tax
Office in the Franklin Building.
Black Key Access
Once a new employee has been hired into the department, they must fill out a form to be given
black key access to the perimeters of all School of Medicine buildings as
well as all lab facilities on Johnson 2-3-4. Restricted access exists in
BSL3 facility (313 Johnson) and the main office (225 Johnson).
Note: Sometimes it is necessary to request black key access for someone already
employed at the university (i.e. rotating grad students who need access for
3-6 months, faculty from other departments who want access to our conference
rooms after hours, etc.). In these cases, we require an email from the sponsoring
PI to be sent to Financial Coordinator and then forwarded to the SOM security
office. While it may take a few days to obtain a new key, it only takes a
few hours to update access.
Two or three weeks after a new employee is entered into the system, they will
receive an information packet in the mail from the Benefits Department. The
packet will include a pin number, and instructions to call 1-888-PENNBEN
for more information. Everyone must call Benefits 1-888-736-6236 within 1
month from employment to choose their benefits.
If an employee was hired on or before the 15th of the month, their medical,
dental and vision insurance will be effective the first day of the following
month. If an employee was hired on or after the 16th of the month, medical,
dental and vision insurance will be effective the first of the month following
thirty days of employment. In the same pattern, if a staff employee terminates
before the 15th, benefits end the last day of the month. If termination is
after the 15th, benefits remain in place until the last day of the following
When a new employee is transferring from another department, their benefits
and vacation balance will be bridged to the new department. The Financial
Coordinator will request the payroll record be transferred, and will still
send the complete
green sheet packet to SOM Finance Office as usual stating that the transfer
has been completed.
When a new faculty member transfers to PENN with his lab staff, their staff
need to be hired as PENN employees. The procedure is as follows: Check
Waiver on the HR1/2, attach a memo regarding the transfer, PIQ, and SOM
with salary requirements should be completed. The new hire still needs
to submit their CV and employment application. Submit this to HR one
date. The job does not need to be posted on the website, but the job
does need to be CLASSIFIED according to PENN standards.
When setting up a payroll distribution that is being charged to a grant, the
end date should be the end date of the grant for the current year. The reason
for this is so the salary will only encumber on the Ben Financial reports for
the period of the grant and not beyond it. The payroll roster will inform us
of when the distribution ends. We will then check the offer letter and revise
the payroll record accordingly.
New Staff Orientation
New staff will be invited to two orientation sessions. One invitation will
come from the university, and the other will come from the School of Medicine.
invitations will be mailed to the employees home address, and they should
be encouraged to attend both sessions.
Introductory Review Period
New personnel hired from outside the University are subject to a four month
review period from the date of hire. At the end of three months, HR sends
to the department and that reminder is forwarded to the responsible PI. It
is highly recommended that the PI follow the formal review process. While
possible to extend this review period, it is very difficult to terminate
a person after this period has passed. Please see introductory
All weekly employees are required to submit weekly time
sheets to the Administrative Offices every Thursday by 3PM. It needs to be
signed by both the employee and the supervisor to reflect actual time worked.
If an employee is unable to submit this on time, he/she must notify the Administrative
Office. If the Administrative Office is not notified, it will be assumed that
the employee has been on vacation for the week.
A weekly employee should not work over 40 hours/week without prior approval
of supervisor and a signed overtime request
form. Overtime is paid at
an hourly rate of one and half times the normal hourly rate, and this is
changed to the same fund from which the employee is usually paid. The supervisor
should also notify the Administrative Office of overtime arrangements.
The staff member is to elect on the time sheet if he/she would prefer to
receive pay or compensatory time for the hours in excess of the standard
less than 40 hours. The substitution of compensatory time off in lieu of
monetary compensation for the hours worked when less than 40 hours must
be agreed upon
in advance by the staff member, supervisor, and Chairperson or CFAO.
Compensatory Time Off
Compensatory time off cannot be substituted for any of the time worked in
a workweek in which a staff member works in excess of 40 hours.
Request for Time Off
Request for Time Off form
For All Monthly and Weekly paid personnel
All staff requests
for time off must be made in advance to the supervisor. Staff members
must submit a request for time-off form to their immediate supervisor
for approval at least 3 days in advance. In emergency situations shorter
notice may be accepted with the supervisor's approval. When a staff member
is sick, the request for time-off sheets should be submitted retroactively
and then filed to keep a balance of accrued sick time.
A copy of all requests for time off must be submitted to the Administrative
Office, to be filed in the employees personnel file.
Tracking Time Balances
The University payroll system tracks weekly-paid employee's time off
when time sheets are processed. Currently, the university does not
have the capacity to track time balances for monthly-paid staff employees.
(Please note that postdocs do not officially accrue time-off, and they
are not paid vacation payouts when they leave the university.) It is
the responsibility of the supervisor to track vacation and sick time
balances for their monthly-paid employees. Here is the Paid Time Off
Policy for Staff at the University of Pennsylvania.
This is an important issue because when a staff employee terminates from
the university, they are entitled to pay in lieu of unused vacation
balance. If no records have been kept, the employee will automatically
receive the maximum vacation pay (up to a maximum of 24 days) and it
will be charged to the employee salary source at time of termination.
Please refer to the
termination policy for
guidance in terminating an employee.
When an employee terminates from
the university, they need to submit a letter of resignation to the
supervisor and administrative office.
They also need to return the black key and PENN ID. If they are a staff
member, they may be entitled to a vacation pay out. A
termination/vacation pay form and proof
of unused time must be submitted.
The calculation formula for vacation
payout is on
Vacation at Separation pay is paid on Additional Pay Forms; please include
the date of termination in the justification. VCT is paid the pay cycle
after the employee terminates. Position Discontinuance and Staff Transition
(PDST) employees can be paid at the beginning of their layoff, rather
than waiting until their last pay. In that case, send the APF (Additional
Pay form) with the PDST date in the justification, to HR Staff Relations.
When leaving Penn, the administrative office needs a resignation letter,
updated address for W-2, ProCard, Penn ID, Parking card, black key,
and regular keys.
No termination will go into effect until a termination letter is provided
to the Administrative Office.
(For further information on Personnel policies please visit Penn’s
Web site on HR policy)
People who have courtesy appointments need to fill out ALL of the new
hire paperwork, including tax forms and the Patent and Tangible Research
Property form. They will also need an appointment letter from the faculty
member stating the terms of the appointment. The minimum record must
be met according to School of Medicine policy.
To enter courtesy appointments into payroll, the following fields should
be entered along with the required fields:
REG or TEMP: R
SALARY KEY: U
EMPLOYEE TYPE: E
PAY STATUS: S
JOB CLASS: 399057 Courtesy Appt
The status of volunteer is reserved for voluntary service by persons
who want to gain educational and practical experience in a chosen
career field. The university will not permit any unpaid work to occur
premises, and a volunteer is not permitted to perform what might
be considered “productive” service. The volunteer activities
are to be closely and carefully supervised. A Volunteer
Packet must be completed and signed before volunteering
Foreign Nationals who enter the U.S. on a B-2 tourist visa cannot receive
a salary of any kind. They can volunteer with a courtesy appointment.
All volunteers, whether a foreign national or a U.S. citizen, will need
to fill out all of the new hire paperwork, including the Patent and Tangible
Research Property form. Minimum record must be met according to School
of Medicine policy.
The Department of Microbiology at The University of Pennsylvania is
committed to staff development and believes that the performance
planning process is an integral part of that development. This process
is designed to improve job understanding, promote more effective
job performance, and establish future goals for career growth.
The goal of the Performance and Staff Development Program is to provide
staff members with feedback on their performance and accomplishments
for the previous year. This program should also assist staff members
in understanding their job responsibilities and supervisor's performance
expectations. Performance goals for the upcoming year and specific
plans to help staff members meet those goals should also be established
Performance Plan Letter Format
Performance Plan Long Form
Performance Plan Short Form
Performance Plan Self Appraisal
Other HR Information
Curriculum Vitae (CV)
All CV’s should be entered into the Faculty Expertise Database
by the Faculty Coordinator. CV’s will be updated twice a year:
December and June.
All CV’s should be in the School of Medicine format. Please refer
to the forms at the Faculty Affairs Site.
To reclassify a position for a current employee, the following items
need to be submitted to the Microbiology Administrative Office:
- a letter from the PI justifying the reasons for the request
- a copy of the employee’s current resumé
- SOM action form
When paying an outside instructor, use a C368 and W-9 if they are not
currently in the payroll system.
Periodically all monthly employees will be required to sign the check
roster located in the Administrative Office. Anyone receiving a regular
check (not an advice) must sign the check roster each month or week.
Monthly paid employees that require a late pay need to be approved
by the CFAO (Chief Financial and Administrative Officer), but weekly
employees are automatically processed. Weekly late pays have to be
in the system by Monday 12:00 for a check to be cut the following
Friday. After approval is received, follow directions for hand-drawn
Hand Drawn Checks
Hand Drawn checks are to be requested only when less than 75% of
regular pay is received by regular University employees. Start
by calling the
Payroll Office first for preliminary approval - 898-6301. Enter
the late pay in the Payroll system, have it approved through UMIS by
CFAO, then print the approved late pay screen. Complete the online
request form for hand drawn check and FAX this to the payroll office.
Allow five business days for the check to be produced. A $25 processing
fee will accompany all late pay requests.
Undergraduate and graduate students may obtain parking permits
for nights and weekends at a discounted rate. If the chairman
writes a letter (BA,
Fiscal Coordinator has template) to the parking department stating
that the undergrad or grad student will be required to work nights
weekends, they will obtain a parking pass at a discounted rate.
is subsidized by SOM for graduate students.
Package Property Pass
A Package Property Pass Form must be completed when removing any
item from the department.
The following links may be helpful for advice on taxes for students and postdocs. Microbiology Administrative Staff are prohibited by law from giving tax advice of any kind.
Comptroller's Tax Info
BGS Taxes Info for students